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The Voice of Canada’s Investment Funds Industry

SRO Rules and Responses

Rules enacted and enforced by the Mutual Fund Dealers Association (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC) are important to a smooth functioning investment funds industry and contribute to Canadian investor security and confidence. IFIC supports these two bodies by commenting and providing industry input on prospective rule changes as the MFDA and IIROC respond to an evolving marketplace and investor needs.



Documents

2016
IFIC Submission – MFDA – Proposals to Amend Rule 2.3 – Powers of Attorney (June 10, 2016)

Future of SROs Deserves Intentional Review – IFIC Responds to IIROC White Paper

IFIC Submission – IIROC – 270 Day Rule and Directed Commissions (April 18, 2016)

2015
IFIC Submission – MFDA – Continuing Education Requirements (September 21, 2015)

IFIC Submission – MFDA – Proficiency Standard for Approved Persons Selling ETFs and Outside Activity (September 16, 2015)

2014
IFIC Submission – IIROC – Proficiency Assurance (November 17, 2014)

IFSE Submission – IIROC – Proficiency Assurance (November 17, 2014)

2012
Submission - IIROC (Robert Keller) - Draft Guidance for Comment on Compensation Structures for Retail Investment Accounts - November 12, 2012

2011
Submission - MFDA Proposed Amendments to Rule 2.2.1 and Policy No. 2 - October 7, 2011

2010
Submission to MFDA - Proposed New Rule 2.4.4 (Transaction Fees or Charges) (September 17, 2010)